Christopher Mates Email & Phone Number

United States

Palo Alto, CA, US

• Stockpile is the investing app that allows parents to work with their kids and teach them the importance of building a strong financial foundation for a successful future. Under their parents' guidance, kids get.
• As President, I work closely with our executive team to determine and execute corporate strategy for Stockpile Investments, a registered Broker Dealer and a Member of FINRA;
• As General Counsel and Chief Compliance Officer, I lead all legal, compliance & regulatory functions for innovative FinTech firm;
• Reduced firm's outsourced legal, compliance & regulatory costs by over 65%;
• Working closely with a talented management team, I help guide the process for the development and introduction of creative new product offerings;
• Principal liaison for SEC inquiries, FINRA examinations;

Dallas, TX, US

• Manage the legal and compliance functions of established Private Equity/Investment Banking firm including Broker Dealer (Private Placements & M&A Advisory Services) and Registered Investment Advisor (RIA) with over 45.
• CEO/CCO of Disruptive Securities, LLC (Broker Dealer);
• Principal liaison for SEC inquiries, FINRA examinations, MAS registration:
• AML/KYC Officer for both RIA and Broker Dealer.

Marina Del Rey, CA, US

• Managed the legal and compliance functions of newly approved Broker Dealer and Registered Investment Advisor (RIA) (including '40 Act Mutual Funds) subsidiaries of startup Fintech financial services firm.
• Financial Operations Principal (FINOP)

Irvine, California, US

• Implemented totally upgraded regulatory compliance & financial reporting systems and directed financial operations for Alternative Investment group which includes: - Investment Banking: Mergers & Acquisitions and.
• Legal Counsel for Broker Dealer and Private Equity affiliates;
• FINOP;
• Board of Directors - Opus Financial Partners, LLC.

London, GB

• Founding principal negotiated purchase of SEC/FINRA-registered Broker Dealer and successfully repackaged company for sale by expanding operations to include Private Placements and Alternative Investments;
• FINOP.

London, GB

• Liquid Capital Securities, LLC (FINRA/SEC Broker Dealer & NFA/CFTC Introducing Broker); and Liquid Capital Markets, LLC (CBOE/SEC Proprietary Trading/Options Market Maker Firm).
• Founded and concurrently managed the day-to-day operations of 2 FINRA-registered Broker Dealers;
• Financial Operations/Funding: Lead day-to-day finance functions: annual budgets & strategic planning, financial & regulatory audits, tax filings, cash management, insure adequate funding in bank & clearing accounts;
• Legal, Regulatory & Compliance: Founded both Broker Dealers; Managed all SEC/FINRA and CFTC/NFA Regulatory and Exchange filings; act as principal liaison to US & State regulators; Negotiated commercial contracts with.
• Represent US businesses to Board of Directors and ensure effective Corporate Governance;
• Sales: Built and managed sales team to service cash and derivatives needs of institutional clients;

• Legal Counsel, Regulatory & Compliance Consulting:
• Securities Act ’33 (SA 33); Securities Exchange Act ’34 (SEA 34); Investment Advisors Act ‘40 (IAA 40); Investment Company Act ’40 (ICA 40); Commodity Exchange Act (CEA), Dodd-Frank Act and State laws;
• Business formations; Drafted Partnership & Operating Agreements, Private Placement Memoranda, Disclosure Documents and other contracts and corporate and commercial agreements. Federal and State Regulatory filings..
• Hedge funds, Registered Investment Advisers, Commodity Trading Advisers, Commodity Pool Operators, Managed Accounts, Alternative Investment Managers, Introducing Brokers, Futures Commission Merchant, Funds of Funds.

J.D.

M.B.A.

B.S.B.A.